Serve as a strategic compliance partner to leadership teams developing advisory technology and related offerings. In this high-visibility role, you will provide regulatory guidance during product development, process enhancements, and new business initiatives, helping ensure compliance is built into day-to-day decisions and program execution.
Partner across business, product, legal, and operational groups to design, maintain, and oversee a comprehensive compliance program. You will conduct risk assessments, support monitoring activities to identify vulnerabilities, recommend mitigating controls, and interpret regulatory changes and relevant rulemaking to advise on process and policy impacts.
Support compliance responsibilities for a FINRA-registered broker-dealer, including advisory input and program oversight, and collaborate with the Chief Compliance Officer on program execution, documentation, and regulatory preparedness. You will also assist with marketing and communications reviews for advisory and broker-dealer materials where applicable, and help drive cross-functional collaboration and influence stakeholders at all levels. The role typically requires a bachelor’s degree or relevant professional certification (preferred), strong knowledge of SEC and FINRA regulations and industry best practices, the ability to analyze complex regulatory topics and propose practical solutions while managing competing priorities, and demonstrated influence and collaboration skills; experience reviewing adviser or broker-dealer advertising materials is helpful.